A03 Attachment 0003 Appendix B Sol Spec.pdf

SOW for PR-2015-0120

Rock Island Arsenal Appendix

Appendix B: Solicitation Specifications

June 2022

US Army Garrison‐Rock Island Arsenal Directorate of Public Works

Engineering and Services Division

AMIM-RIP-G

1 Rock Island Arsenal Rock Island, IL 61299‐5000

STR236 PR-2015-0120 Appendix B Repair Elevated Water Tank Solicitation Specification

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 11 00

SUMMARY OF WORK

a description of work covered in this contract and is required for use in all projects

PART 1 GENERAL

1.1 WORK COVERED BY CONTRACT DOCUMENTS

1.1.1 Project Description

1.1.2 Location

1.2 OCCUPANCY OF PREMISES

1.3 EXISTING WORK

1.4 LOCATION OF UNDERGROUND UTILITIES

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 11 00 Page 1

SECTION 01 11 00

SUMMARY OF WORK

PART 1 GENERAL

1.1 WORK COVERED BY CONTRACT DOCUMENTS

1.1.1 Project Description

The work includes making safety changes to the elevated steel water tank, including controlled access entries, handrails, and ladders; also install a passive water mixing system; install an electrical induced current cathodic protection system; and blast, repair, and paint the elevated tank, inside and out, and all supports ; and incidental related work.

1.1.2 Location

The work is located at the Rock Island Arsenal. The exact location will be shown by the Contracting Officer.

1.2 OCCUPANCY OF PREMISES

Before work is started, arrange with the Contracting Officer a sequence of procedure, means of access, space for storage of materials and equipment, and use of the tank during the performace of the work.

1.3 EXISTING WORK

In addition to FAR 52.236-9 Protection of Existing Vegetation, Structures, Equipment, Utilities, and Improvements:

a. Remove or alter existing work in such a manner as to prevent injury or damage to any portions of the existing work which remain.

b. Repair or replace portions of existing work which have been altered during construction operations to match existing or adjoining work, as approved by the Contracting Officer. At the completion of operations, existing work must be in a condition equal to or better than that which existed before new work started.

1.4 LOCATION OF UNDERGROUND UTILITIES

Obtain digging permits prior to start of excavation, and comply with Installation requirements for locating and marking underground utilities.

Notify the Contracting Officer at least 15 days prior to starting excavation work. Verify existing utility locations indicated on contract drawings, within area of work.

PART 2 PRODUCTS

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PART 3 EXECUTION

Not used.

SECTION 01 11 00 Page 2

-- End of Section --

SECTION 01 11 00 Page 3

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 14 00

WORK RESTRICTIONS

work and site restrictions

PART 1 GENERAL

1.1 SUBMITTALS

1.2 CONTRACTOR ACCESS AND USE OF PREMISES

1.2.1 Activity Regulations

1.2.1.1 Subcontractors and Personnel Contacts

1.2.1.2 No Smoking Policy

1.2.2 Working Hours

1.2.3 Work Outside Regular Hours

1.2.4 Utility Cutovers and Interruptions

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 14 00 Page 1

SECTION 01 14 00

WORK RESTRICTIONS

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" classification.

Submittals not having a "G" classification are for Contractor Quality Control approval. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

List of Contact Personnel

1.2 CONTRACTOR ACCESS AND USE OF PREMISES

1.2.1 Activity Regulations

Ensure that Contractor personnel employed on the Activity become familiar with and obey Activity regulations including safety, fire, traffic and security regulations. Keep within the limits of the work and avenues of ingress and egress. Wear appropriate personal protective equipment (PPE) in designated areas. Do not enter any restricted areas unless required to do so and until cleared for such entry. Ensure all Contractor equipment, include delivery vehicles, are clearly identified with their company name.

1.2.1.1 Subcontractors and Personnel Contacts

Provide a list of contact personnel of the Contractor and subcontractors including addresses and telephone numbers for use in the event of an emergency. As changes occur and additional information becomes available, correct and change the information contained in previous lists.

1.2.1.2 No Smoking Policy

Smoking is prohibited within and outside of all buildings on installation, except in designated smoking areas. This applies to existing buildings, buildings under construction and buildings under renovation. Discarding tobacco materials other than into designated tobacco receptacles is considered littering and is subject to fines. The Contracting Officer will identify designated smoking areas.

1.2.2 Working Hours

Regular working hours shall be established with the Contracting Officer, between 6:00 a.m. and 5:00 p.m., Monday through Friday, excluding Government holidays.

1.2.3 Work Outside Regular Hours

Work outside regular working hours requires Contracting Officer approval.

Make application 15 calendar days prior to such work to allow arrangements to be made by the Government for inspecting the work in progress, giving

SECTION 01 14 00 Page 2 the specific dates, hours, and type of work to be performed. Based on the justification provided, the Contracting Officer may approve work outside regular hours. During periods of darkness, the different parts of the work must be lighted in a manner approved by the Contracting Officer.

1.2.4 Utility Cutovers and Interruptions

a. Make utility cutovers and interruptions after normal working hours or on Saturdays, Sundays, and Government holidays. Conform to procedures required in paragraph WORK OUTSIDE REGULAR HOURS.

b. Ensure that new utility lines are complete, except for the connection, before interrupting existing service.

c. Not used.

d. Operation of Post Utilities: The Contractor must not operate nor disturb the setting of control devices in the post utilities system, including water, sewer, and electrical. The Government will operate the control devices as required for normal conduct of the work. The Contractor must notify the Contracting Officer 15 calendar days advance notice when such operation is required.

PART 2 PRODUCTS

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PART 3 EXECUTION

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SECTION 01 14 00 Page 3

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

payment instruction paragraphs required for use in all projects

PART 1 GENERAL

1.1 CONTRACT COST BREAKDOWN

1.2 CONTRACTOR'S INVOICE AND CONTRACT PERFORMANCE STATEMENT

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 20 00 Page 1

SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 CONTRACT COST BREAKDOWN

The Contractor must furnish within 30 days after the date of Notice to Proceed, and prior to the submission of its first partial payment estimate, a breakdown of its single job pay item to be reviewed by the Contracting Officer as to propriety of distribution of the total cost to the various accounts. Any unbalanced items as between early and late payment items or other discrepancies will be revised by the Contracting Officer to agree with a reasonable cost of the work included in the various items. This Contract cost breakdown will then be utilized as the basis for progress payments to the Contractor.

1.2 CONTRACTOR'S INVOICE AND CONTRACT PERFORMANCE STATEMENT

PART 2 PRODUCTS

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PART 3 EXECUTION

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SECTION 01 20 00 Page 2

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 30 00

ADMINISTRATIVE REQUIREMENTS

general administrative and procedural requirements for Contractor management and coordination

PART 1 GENERAL

1.1 REFERENCES

1.2 SUBMITTALS

1.3 PROGRESS AND COMPLETION PICTURES

1.4 MINIMUM INSURANCE REQUIREMENTS

1.5 SUPERVISION

1.5.1 Superintendent Qualifications

1.5.2 Duties

1.5.3 Non-Compliance Actions

1.6 PRECONSTRUCTION CONFERENCE

1.6.1 Attendees

1.7 MOBILIZATION

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 30 00 Page 1

SECTION 01 30 00

ADMINISTRATIVE REQUIREMENTS

PART 1 GENERAL

1.1 REFERENCES

The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only.

U.S. ARMY CORPS OF ENGINEERS (USACE)

EM 385-1-1 (2014) Safety -- Safety and Health Requirements Manual

1.2 SUBMITTALS

Government approval is required for submittals with a "G" classification.

Submittals not having a "G" classification are for Contractor Quality Control approval. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Progress and Completion Pictures

1.3 PROGRESS AND COMPLETION PICTURES

Photographically document site conditions prior to start of construction operations. Provide monthly, and within one month of the completion of work, digital photographs, 1600x1200x24 bit true color minimum resolution in JPEG file format showing the sequence and progress of work. Take a minimum of 20 digital photographs each week throughout the entire project from a minimum of ten different viewpoints selected by the Contractor unless otherwise directed by the Contracting Officer. Submit with the monthly invoice two sets of digital photographs, each set on a separate compact disc (CD) or data versatile disc (DVD), cumulative of all photos to date. Indicate photographs demonstrating environmental procedures.

Provide photographs for each month in a separate monthly directory and name each file to indicate its location on the view location sketch. Also provide the view location sketch on the CD or DVD as a digital file.

Include a date designator in file names. Photographs provided are for unrestricted use by the Government.

1.4 MINIMUM INSURANCE REQUIREMENTS

Provide the minimum insurance coverage required by FAR 28.307-2 Liability, during the entire period of performance under this contract. Provide other insurance coverage as required by law.

SECTION 01 30 00 Page 2

1.5 SUPERVISION

1.5.1 Superintendent Qualifications

Provide project superintendent with a minimum of 10 years experience in construction with at least 5 of those years as a superintendent on projects similar in size and complexity. The individual must be familiar with the requirements of EM 385-1-1 and have experience in the areas of hazard identification and safety compliance. The individual must be capable of interpreting a critical path schedule and construction drawings. The qualification requirements for the alternate superintendent are the same as for the project superintendent. The Contracting Officer may request proof of the superintendent's qualifications at any point in the project if the performance of the superintendent is in question.

1.5.2 Duties

The project superintendent is primarily responsible for managing subcontractors and coordinating day-to-day production and schedule adherence on the project. The superintendent is required to attend partnering meetings, and quality control meetings. The superintendent or qualified alternative must be on-site at all times during the performance of this contract until the work is completed and accepted.

1.5.3 Non-Compliance Actions

The Project Superintendent is subject to removal by the Contracting Officer for non-compliance with requirements specified in the contract and for failure to manage the project to ensure timely completion.

Furthermore, the Contracting Officer may issue an order stopping all or part of the work until satisfactory corrective action has been taken. No part of the time lost due to such stop orders is acceptable as the subject of claim for extension of time for excess costs or damages by the Contractor.

1.6 PRECONSTRUCTION CONFERENCE

Upon completion of design and design acceptance by the government , prior to commencing any work at the site, coordinate with the Contracting Officer a time and place to meet for the Preconstruction Conference . The conference must take place within 35 calendar days after award of the contract, but prior to commencement of any work at the site. The purpose of this conference is to discuss and develop a mutual understanding of the administrative requirements of the Contract including but not limited to: daily reporting, invoicing, value engineering, safety, base-access, outage requests, hot work permits, schedule requirements, quality control, schedule of prices or earned value report, shop drawings, submittals, cybersecurity, prosecution of the work, government acceptance, final inspections and contract close-out. Contractor must present and discuss their basic approach to scheduling the construction work and any required phasing.

1.6.1 Attendees

Contractor attendees must include the Project Manager, Superintendent, Site Safety and Health Officer (SSHO), Quality Control Manager and major subcontractors.

SECTION 01 30 00 Page 3

1.7 MOBILIZATION

Contractor shall mobilize to the jobsite within 30 calendar days of final site or building design approval. Mobilize is defined as having equipment AND having a physical presence of at least one person from the contractor's team on the jobsite.

PART 2 PRODUCTS

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PART 3 EXECUTION

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SECTION 01 30 00 Page 4

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 32 01.00 10

PROJECT SCHEDULE

the preparation and maintenance of the project schedule for construction projects or design-build construction projects

PART 1 GENERAL

1.1 SUBMITTALS

PART 2 PRODUCTS

PART 3 EXECUTION

3.1 GENERAL REQUIREMENTS

3.2 BASIS FOR PAYMENT AND COST LOADING

3.2.1 Activity Cost Loading

3.2.2 Withholdings / Payment Rejection

3.3 PROJECT SCHEDULE DETAILED REQUIREMENTS

3.3.1 Level of Detail Required

3.3.2 Activity Durations

3.3.3 Design and Permit Activities

3.3.4 Procurement Activities

3.3.5 Mandatory Tasks

3.3.6 Government Activities

3.3.7 Contract Milestones and Constraints

3.3.7.1 Project Start Date Milestone and Constraint

3.3.7.2 End Project Finish Milestone and Constraint

3.3.7.3 Interim Completion Dates and Constraints

3.3.7.3.1 Start Phase

3.3.7.3.2 End Phase

3.4 PROJECT SCHEDULE SUBMISSIONS

3.4.1 Initial Project Schedule Submission

3.5 SUBMISSION REQUIREMENTS

3.5.1 Data CD/DVDs

3.6 PERIODIC SCHEDULE UPDATE

3.6.1 Periodic Schedule Update Meetings

3.6.2 Update Submission Following Progress Meeting

3.7 WEEKLY PROGRESS MEETINGS

3.8 REQUESTS FOR TIME EXTENSIONS

SECTION 01 32 01.00 10 Page 1

SECTION 01 32 01.00 10

PROJECT SCHEDULE

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" classification.

Submittals not having a "G" classification are for Contractor Quality Control approval. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Initial Project Schedule; G

Periodic Schedule Update; G

PART 2 PRODUCTS

Not used

PART 3 EXECUTION

3.1 GENERAL REQUIREMENTS

Prepare for approval a Project Schedule, as specified herein, pursuant to FAR Clause 52.236-15 Schedules for Construction Contracts. Show in the schedule the proposed sequence to perform the work and dates contemplated for starting and completing all schedule activities. The scheduling of the entire project is required. The scheduling of design and construction is the responsibility of the Contractor. Contractor management personnel must actively participate in its development. Designers, Subcontractors and suppliers working on the project must also contribute in developing and maintaining an accurate Project Schedule. Provide a schedule that is a forward planning as well as a project monitoring tool. Use the Critical Path Method (CPM) of network calculation to generate all Project Schedules. Prepare each Project Schedule using the Precedence Diagram Method (PDM).

3.2 BASIS FOR PAYMENT AND COST LOADING

The schedule is the basis for determining contract earnings during each update period and therefore the amount of each progress payment. The aggregate value of all activities coded to a contract CLIN must equal the value of the CLIN.

3.2.1 Activity Cost Loading

Activity cost loading must be reasonable and without front-end loading.

Provide additional documentation to demonstrate reasonableness if requested by the Contracting Officer.

SECTION 01 32 01.00 10 Page 2

3.2.2 Withholdings / Payment Rejection

Failure to meet the requirements of this specification may result in the disapproval of the preliminary, initial or periodic schedule updates and subsequent rejection of payment requests until compliance is met.

In the event that the Contracting Officer directs schedule revisions and those revisions have not been included in subsequent Project Schedule revisions or updates, the Contracting Officer may withhold 10 percent of pay request amount from each payment period until such revisions to the project schedule have been made.

3.3 PROJECT SCHEDULE DETAILED REQUIREMENTS

3.3.1 Level of Detail Required

Develop the Project Schedule to the appropriate level of detail to address major milestones and to allow for satisfactory project planning and execution. Failure to develop the Project Schedule to an appropriate level of detail will result in its disapproval. The Contracting Officer will consider, but is not limited to, the following characteristics and requirements to determine appropriate level of detail:

3.3.2 Activity Durations

Reasonable activity durations are those that allow the progress of ongoing activities to be accurately determined between update periods.

Less than 2 percent of all non-procurement activities may have Original Durations (OD) greater than 20 work days or 30 calendar days.

3.3.3 Design and Permit Activities

Include design and permit activities with the necessary conferences and follow-up actions and design package submission dates. Include the design schedule in the project schedule, showing the sequence of events involved in carrying out the project design tasks within the specific contract period. Provide at a detailed level of scheduling sufficient to identify all major design tasks, including those that control the flow of work.

Also include review and correction periods associated with each item.

3.3.4 Procurement Activities

Include activities associated with the critical submittals and their approvals, procurement, fabrication, and delivery of long lead materials, equipment, fabricated assemblies, and supplies. Long lead procurement activities are those with an anticipated procurement sequence of over 90 calendar days.

3.3.5 Mandatory Tasks

During the Design Phase of this Design Build Project lay out all activities/tasks that shall be necessary for work/construction to be completed. In the initial project schedule and with each and all updates of the schedule add those additional activities/tasks that come to be necessary for the work/construction.

3.3.6 Government Activities

Show Government and other agency activities that could impact progress.

SECTION 01 32 01.00 10 Page 3

These activities include, but are not limited to: acceptance, design reviews, environmental permit approvals by State regulators, inspections, utility tie-in, Government Furnished Equipment (GFE) and Notice to Proceed (NTP) for phasing requirements.

3.3.7 Contract Milestones and Constraints

Milestone activities are to be used for significant project events including, but not limited to, project phasing, project start and end activities, or interim completion dates. The use of artificial float constraints such as "zero free float" or "zero total float" are prohibited.

Mandatory constraints that ignore or effect network logic are prohibited.

No constrained dates are allowed in the schedule other than those specified herein. Submit additional constraints to the Contracting Officer for approval on a case by case basis.

3.3.7.1 Project Start Date Milestone and Constraint

The first activity in the project schedule must be a start milestone titled "NTP Acknowledged," which must have a "Start On" constraint date equal to the date that the NTP is acknowledged.

3.3.7.2 End Project Finish Milestone and Constraint

The last activity in the schedule must be a finish milestone titled "End Project."

Constrain the project schedule to the Contract Completion Date in such a way that if the schedule calculates an early finish, then the float calculation for "End Project" milestone reflects positive float on the longest path. If the project schedule calculates a late finish, then the "End Project" milestone float calculation reflects negative float on the longest path. The Government is under no obligation to accelerate Government activities to support a Contractor's early completion.

3.3.7.3 Interim Completion Dates and Constraints

Constrain contractually specified interim completion dates to show negative float when the calculated late finish date of the last activity in that phase is later than the specified interim completion date.

3.3.7.3.1 Start Phase

Use a start milestone as the first activity for a project phase. Call the start milestone "Start Phase X" where "X" refers to the phase of work.

3.3.7.3.2 End Phase

Use a finish milestone as the last activity for a project phase. Call the finish milestone "End Phase X" where "X" refers to the phase of work.

3.4 PROJECT SCHEDULE SUBMISSIONS 3.4.1 Initial Project Schedule Submission

Submit the Initial Project Schedule for approval within 42 calendar days after notice to proceed is issued. The schedule must demonstrate a reasonable and realistic sequence of activities which represent all work

SECTION 01 32 01.00 10 Page 4 through the entire contract performance period. Include in the design-build schedule detailed design and permitting activities, including but not limited to identification of individual design packages, design submission, reviews and conferences; permit submissions and any required Government actions; and long lead item acquisition prior to design completion. Also cover in the initial design-build schedule the entire construction effort with as much detail as is known at the time but, as a minimum, include all construction start and completion milestones, and detailed construction activities through the dry-in milestone, including all activity coding and cost loading. Include the remaining construction, including cost loading, but it may be scheduled summary in nature. As the design proceeds and design packages are developed, fully detail the remaining construction activities concurrent with the monthly schedule updating process. Constrain construction activities by Government acceptance of associated designs. When the design is complete, incorporate into the then approved schedule update all remaining detailed construction activities that are planned to occur after the dry-in milestone. No payment will be made for work items not fully detailed in the Project Schedule. 3.5 SUBMISSION REQUIREMENTS

Submit the following items for the Preliminary Schedule, Initial Schedule, and every Periodic Schedule Update throughout the life of the project:

3.5.1 Data CD/DVDs

Provide two sets of data CD/DVDs containing the current project schedule and all previously submitted schedules in the format of the scheduling software (e.g. .xer), in a text comma deliminated (e.g. .txt) file, and in an Extensible Markup Language (e.g. .xml) file. Also include on the data CD/DVDs the Narrative Report and all required Schedule Reports. Label each CD/DVD indicating the type of schedule (Preliminary, Initial, Update), full contract number, Data Date and file names. Each schedule must have a unique file name and use project specific settings.

3.6 PERIODIC SCHEDULE UPDATE

3.6.1 Periodic Schedule Update Meetings

Conduct periodic schedule update meetings for the purpose of reviewing the proposed Periodic Schedule Update, Narrative Report, Schedule Reports, and progress payment. Conduct meetings at least monthly within five days of the proposed schedule data date. Provide a computer with the scheduling software loaded and a projector which allows all meeting participants to view the proposed schedule during the meeting. The Contractor's authorized scheduler must organize, group, sort, filter, perform schedule revisions as needed and review functions as requested by the Contractor and/or Government. The meeting is a working interactive exchange which allows the Government and Contractor the opportunity to review the updated schedule on a real time and interactive basis. The meeting will last no longer than 8 hours. Provide a draft of the proposed narrative report and schedule data file to the Government a minimum of two workdays in advance of the meeting. The Contractor's Project Manager and scheduler must attend the meeting with the authorized representative of the Contracting Officer. Superintendents, foremen and major subcontractors must attend the meeting as required to discuss the project schedule and work.

Following the periodic schedule update meeting, make corrections to the draft submission. Include only those changes approved by the Government in the submission and invoice for payment.

SECTION 01 32 01.00 10 Page 5

3.6.2 Update Submission Following Progress Meeting

Submit the complete Periodic Schedule Update of the Project Schedule containing all approved progress, revisions, and adjustments, pursuant to paragraph SUBMISSION REQUIREMENTS not later than 4 work days after the periodic schedule update meeting.

3.7 WEEKLY PROGRESS MEETINGS

Conduct a weekly meeting with the Government (or as otherwise mutually agreed to) between the meetings described in paragraph entitled PERIODIC SCHEDULE UPDATE MEETINGS for the purpose of jointly reviewing the actual progress of the project as compared to the as planned progress and to review planned activities for the upcoming two weeks. Use the current approved schedule update for the purposes of this meeting and for the production and review of reports. At the weekly progress meeting, address the status of RFIs, RFPs and Submittals.

3.8 REQUESTS FOR TIME EXTENSIONS

Provide a justification of delay to the Contracting Officer in accordance with the contract provisions and clauses for approval within 10 days of a delay occurring. Also prepare a time impact analysis for each Government request for proposal (RFP) to justify time extensions.

SECTION 01 32 01.00 10 Page 6

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

general procedures regarding submittals, data normally submitted for review to establish conformance with the design concept and contract documents

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 Submission of Submittals

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

1.4.2 Design-Build Submittal Classifications

1.4.2.1 Designer of Record Approved (DA)

1.4.2.2 Government Conformance Review of Design (CR)

1.4.2.3 Designer of Record Approved/Government Conformance Review

(DA/CR)

1.4.2.3.1 Variations from the Accepted Design

1.4.2.3.2 Substitutions

1.4.2.4 Designer of Record Approved/Government Approved (DA/GA)

1.5 PREPARATION

1.5.1 Transmittal Form

1.5.2 Submittal Format

1.5.2.1 Format of SD-01 Preconstruction Submittals

1.5.2.2 Format for SD-02 Shop Drawings

1.5.2.2.1 Drawing Identification

1.5.2.3 Format of SD-03 Product Data

1.5.2.3.1 Product Information

1.5.2.3.2 Standards

1.5.2.3.3 Data Submission

1.5.2.4 Format of SD-05 Design Data

1.5.2.5 Format of SD-06 Test Reports

1.5.2.6 Format of SD-07 Certificates

1.5.2.7 Format of SD-08 Manufacturer's Instructions

1.5.2.7.1 Standards

1.5.2.8 Format of SD-09 Manufacturer's Field Reports

1.5.2.9 Format of SD-10 Operation and Maintenance Data (O&M)

1.5.2.10 Format of SD-11 Closeout Submittals

1.5.3 Source Drawings for Shop Drawings

1.5.3.1 Source Drawings

1.5.3.2 Terms and Conditions

1.5.4 Electronic File Format

SECTION 01 33 00 Page 1

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

1.7 INFORMATION ONLY SUBMITTALS

1.8 PROJECT SUBMITTAL REGISTER

1.8.1 Submittal Management

1.8.2 Design-Build Submittal Register

1.8.3 Preconstruction Use of Submittal Register

1.8.4 Contractor Use of Submittal Register

1.8.5 Approving Authority Use of Submittal Register

1.8.6 Action Codes

1.8.6.1 Contractor Action Codes

1.9 VARIATIONS

1.9.1 Considering Variations

1.9.2 Proposing Variations

1.9.3 Warranting that Variations are Compatible

1.9.4 Review Schedule Extension

1.10 SCHEDULING

1.10.1 Government Reviewed Design

1.11 GOVERNMENT APPROVING AUTHORITY

1.11.1 Review Notations

1.12 DISAPPROVED SUBMITTALS

1.13 APPROVED SUBMITTALS

1.14 WITHHOLDING OF PAYMENT

1.15 CERTIFICATION OF SUBMITTAL DATA

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

ENG Form 4025-R

Appendix A - Submittal Register

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

Units of weights and measures used on all submittals are to be the same as those used in the contract drawings.

1.1.2 Project Type

The Contractor and the Designer of Record (DOR), if applicable, are to check and approve all items before submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as: Contractor's, manufacturer's, or fabricator's drawings;

descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders;

samples; O&M manuals (including parts list); certifications; warranties;

and other such required submittals.

1.1.3 Submission of Submittals

Schedule and provide submittals requiring Government approval before acquiring the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections. Examples and descriptions of submittals identified by the Submittal Description (SD) numbers and titles follow:

SD-01 Preconstruction Submittals

Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

For Government approved division 01 preconstruction submittals that are required prior to or commencing with the start of work shall be submitted within 30 calendar days of contract award unless specified elsewhere in

SECTION 01 33 00 Page 3 the specifications. For contractor approved division 01 submittals that are required prior to or commencing with the start of work shall be submitted within 45 calendar days of contract award unless specified elsewhere in the specifications.

Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

Certificates Of Insurance

Surety Bonds

List Of Proposed Subcontractors

List Of Proposed Products, Paint Coating Systems

Baseline Network Analysis Schedule (NAS)

Submittal Register

Accident Prevention Plan

Work Plan

Quality Control (QC) plan

Environmental Protection Plan

SD-03 Product Data

Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials, systems or equipment for some portion of the work.

Samples of warranty language when the contract requires extended product warranties.

SD-05 Design Data

Design calculations, mix designs, analyses or other data pertaining to a part of work.

Design submittals and extensions of design submittals.

SD-06 Test Reports

Report signed by authorized official of testing laboratory that a material, product or system identical to the material, product or system to be provided has been tested in accord with specified requirements. Unless specified in another section, testing must have been within three years of date of contract award for the project.

Report that includes findings of a test required to be performed on an actual portion of the work or prototype prepared for the project before shipment to job site.

Report that includes finding of a test made at the job site or on

SECTION 01 33 00 Page 4 sample taken from the job site, on portion of work during or after installation.

Investigation reports

Daily logs and checklists

Final acceptance test and operational test procedure

SD-07 Certificates

Statements printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that the product, system, or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor through Contractor. The document purpose is to further promote the orderly progression of a portion of the work by documenting procedures, acceptability of methods, or personnel qualifications.

Confined space entry permits

Text of posted operating instructions

SD-08 Manufacturer's Instructions

Preprinted material describing installation of a product, system or material, including special notices and (SDS)concerning impedances, hazards and safety precautions.

SD-10 Operation and Maintenance Data

Data provided by the manufacturer, or the system provider, including manufacturer's help and product line documentation, necessary to maintain and install equipment, for operating and maintenance use by facility personnel.

Data required by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

Data incorporated in an operations and maintenance manual or control system.

SD-11 Closeout Submittals

Documentation to record compliance with technical or administrative requirements or to establish an administrative mechanism.

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

Special requirements necessary to properly close out a construction contract. For example, Record Drawings and as-built drawings.

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1.2.2 Work

As used in this section, on-site and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction. In exception, excludes work to produce SD-01 submittals.

1.3 SUBMITTALS

Government approval is required for submittals with a "G" classification.

Submittals not having a "G" classification are for Contractor Quality Control approval. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Submittal Register; G

1.4 SUBMITTAL CLASSIFICATION

Design encompasses both the necessary drawings and specification to dictate successful completion of this project's construction.

1.4.1 Government Approved (G)

Government approval is required for any variations from the Solicitation or the Accepted Proposal and for other items as designated by the Government.

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, submittals are considered to be "shop drawings."

1.4.2 Design-Build Submittal Classifications

1.4.2.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design;

critical materials; any variations from the Solicitation, the Accepted Proposal, or the completed design; equipment whose compatibility with the entire system must be checked; and other items as designated by the Contracting Officer. Provide the Government with the number of copies designated hereinafter of all DOR approved submittals. The Government may review any or all Designer of Record approved submittals for conformance with the Solicitation, the Accepted Proposal, and the completed design.

The Government will review all submittals designated as varying from the Solicitation or Accepted Proposal, as described below. Provide design submittals in accordance with Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD). Generally, list design submittals under SD-05 Design Data.

1.4.2.2 Government Conformance Review of Design (CR)

The Government will review all intermediate and final design submittals for conformance with the technical requirements of the Solicitation.

Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD) covers the design submittal and review process in detail. Review will be only for conformance with the applicable codes, standards, and contract requirements. Design data includes the design documents described in Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD).

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1.4.2.3 Designer of Record Approved/Government Conformance Review (DA/CR)

1.4.2.3.1 Variations from the Accepted Design

DOR approval and the Government's concurrence are required for any proposed variation from the accepted design that still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. If necessary to facilitate the project schedule, before official submission to the Government, the Contractor and the DOR may discuss with the Contracting Officer's Representative a submittal proposing a variation. However, the Government reserves the right to review the submittal before providing an opinion. In any case, the Government will not formally agree to or provide a preliminary opinion on any variation without the DOR's approval or recommended approval. The Government reserves the right to reject any design, variation that may affect furniture, furnishings, equipment selections, or operational decisions that were made, based on the reviewed and concurred design.

1.4.2.3.2 Substitutions

Unless prohibited or otherwise provided for elsewhere in the contract, where the Accepted Proposal named products, systems, materials or equipment by manufacturer, brand name, model number, or other specific identification, and the Contractor desires to substitute a manufacturer or model after award, submit a requested substitution for Government concurrence. Include substantiation, through identifying information and the DOR's approval, that the substitute meets the contract requirements and that it is equal in function, performance, quality, and salient features to that in the accepted contract proposal. If the contract otherwise prohibits substitutions of equal named products, systems, materials or equipment by manufacturer, brand name, model number or other specific identification, the request is considered a "variation" to the contract. Variations are discussed below in paragraphs: "DESIGNER OF RECORD APPROVED/GOVERNMENT APPROVED" and VARIATIONS.

1.4.2.4 Designer of Record Approved/Government Approved (DA/GA)

In addition to the above-stated requirements for proposed variations to the accepted design, both DOR and Government Approval and, where applicable, a contract modification are required before the Contractor is authorized to proceed with material acquisition or installation for any proposed variation to the contract (the Solicitation or the Accepted Proposal), that constitutes a change to the contract terms. The Government reserves the right to accept or reject any such proposed variation.

1.5 PREPARATION

1.5.1 Transmittal Form

Use the ENG Form 4025-R transmittal form for submitting submittals.

Submit in accordance with the instructions on the reverse side of the form. These forms will be furnished to the Contractor. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each item.

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1.5.2 Submittal Format

1.5.2.1 Format of SD-01 Preconstruction Submittals

When the submittal includes a document that is to be used in the project, or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.5.2.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 8 1/2 by 11 inches nor more than 30 by 42 inches, except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required.

Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and letters, with dark lines on a white background.

a. Include the nameplate data, size, and capacity on drawings. Also include applicable federal, military, industry, and technical society publication references.

b. Dimension drawings, except diagrams and schematic drawings. Prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the contract drawings. Identify materials and products for work shown.

Submit an electronic copy of drawings in PDF format.

1.5.2.2.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph

IDENTIFYING SUBMITTALS.

Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location next to the title block. Place the Government contract number in the margin, immediately below the title block, for each drawing.

Reserve a blank space, no smaller than one by two inches on the right-hand side of each sheet for the Government disposition stamp.

1.5.2.3 Format of SD-03 Product Data

Present product data submittals for each section. Include a table of contents, listing the page and catalog item numbers for product data.

Indicate, by prominent notation, each product that is being submitted;

indicate the specification section number and paragraph number to which it pertains.

1.5.2.3.1 Product Information

Supplement product data with material prepared for the project to satisfy the submittal requirements where product data does not exist. Identify this material as developed specifically for the project, with information and format as required for submission of SD-07 Certificates.

SECTION 01 33 00 Page 8

Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

1.5.2.3.2 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.5.2.3.3 Data Submission

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal that is marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will not be accepted for expedition of the construction effort.

Submit the manufacturer's instructions before installation.

1.5.2.4 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.5.2.5 Format of SD-06 Test Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.5.2.6 Format of SD-07 Certificates

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.5.2.7 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section. Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data. Also include applicable federal, military, industry, and technical-society publication references. If supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

Submit the manufacturer's instructions before installation.

1.5.2.7.1 Standards

Where equipment or materials are specified to conform to industry or

SECTION 01 33 00 Page 9 technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.5.2.8 Format of SD-09 Manufacturer's Field Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.5.2.9 Format of SD-10 Operation and Maintenance Data (O&M)

Comply with the requirements specified in Section 01 78 23 OPERATION AND MAINTENANCE DATA for O&M Data format.

1.5.2.10 Format of SD-11 Closeout Submittals

When the submittal includes a document that is to be used in the project or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.5.3 Source Drawings for Shop Drawings

1.5.3.1 Source Drawings

The entire set of source drawing files (DWG) will not be provided to the Contractor. Request the specific Drawing Number for the preparation of shop drawings. Only those drawings requested to prepare shop drawings will be provided. These drawings are provided only after award.

1.5.3.2 Terms and Conditions

Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction data for the referenced project. Any other use or reuse is at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim, and waives to the fullest extent permitted by law any claim or cause of action of any nature against the Government, its agents, or its subconsultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and hold the Government harmless against all damages, liabilities, or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

These electronic source drawing files are not construction documents.

Differences may exist between the source drawing files and the

SECTION 01 33 00 Page 10 corresponding construction documents. The Government makes no representation regarding the accuracy or completeness of the electronic source drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. The Contractor is responsible for determining if any conflict exists. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished source drawing files, the signed and sealed construction documents govern. Use of these source drawing files does not relieve the Contractor of the duty to fully comply with the contract documents, including and without limitation the need to check, confirm and coordinate the work of all contractors for the project. If the Contractor uses, duplicates or modifies these electronic source drawing files for use in producing construction data related to this contract, remove all previous indication of ownership (seals, logos, signatures, initials and dates).

1.5.4 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. Compile the submittal file as a single, complete document, to include the Transmittal Form described within. Name the electronic submittal file specifically according to its contents, and coordinate the file naming convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is searchable and can be copied. If documents are scanned, optical character resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature or a scan of a signature.

E-mail electronic submittal documents smaller than 20 MB to an e-mail address as directed by the Contracting Officer.